State of California Department of Transportation Transportation System Data Business Plan

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Transportation System Data Business Plan



DRAFT


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0003

Page
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State of California

Department of Transportation





Transportation System

Data Business Plan




















RFO# TSI DPA
-
0003

September 2
9
, 2011

Transportation System Data Business Plan



DRAFT


RFO # TSI DPA
-
0003

Page
ii





Table of Contents


Executive Summary

................................
................................
................................
................................
....

4

Chapter 1

Caltrans Data Governance

................................
................................
...............................

7

1.1

Mission, Goals and Success Measures

................................
................................
.......................

7

1.2

Roles and Responsibilities

................................
................................
................................
...........

9

1.3

Data Governance Charter Overview

................................
................................
.........................

13

1.4

Impact of Prior Efforts

................................
................................
................................
................

13

1.5

Funding and Resources

................................
................................
................................
.............

14

Chapter 2

Processes to Identify Business Needs

................................
................................
.........

15

2.1

Process Maps and Narratives Overview

................................
................................
...................

15

2.2

Data Governance Processes

................................
................................
................................
.....

16

2.3

Data Governance Forms

................................
................................
................................
...........

24

Chapter 3

Data Products and Data Assessment

................................
................................
...........

26

3.1

Data Products

................................
................................
................................
............................

26

3.2

Transp
ortation System Corporate Data Sets

................................
................................
.............

27

3.3

Data Quality Assessment Process and Tools

................................
................................
...........

32

3.4

Assessing Caltrans Corporate Data Sets

................................
................................
..................

38

Chapter 4

Data Architecture

................................
................................
................................
............

49

4.1

Data Architecture

................................
................................
................................
.......................

49

4.2

Da
ta Element Catalog

................................
................................
................................
................

55

4.3

Data Set Catalog

................................
................................
................................
.......................

58

Chapter 5

Data Governance Program Management and Implementation Plan

.........................

62

5.1

Data Governance, a Program Management Perspective

................................
..........................

62

5.2

Data Governance Change Management Plan

................................
................................
...........

63

5.3

Data Governance Website Concept Overview

................................
................................
..........

65

5.4

Risk Management Strategies and Controls

................................
................................
...............

66

5.5

Data Governance Program of Projects

................................
................................
......................

69

5.6

Near
-
term Data Governance Projects

................................
................................
.......................

73

5.7

Implementation Schedule

................................
................................
................................
..........

79

5.8

Project Summary Form

................................
................................
................................
..............

83

Appendix A

Glossary of Terms
................................
................................
................................
...........

84

Appendix B

Data Governance Board Charter

................................
................................
...................

87

Appendix C

Data Issue Form

................................
................................
................................
..............

92

Transportation System Data Business Plan



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Appendix D

Project Summary Form

................................
................................
................................
..

93

Appendix E

Proposed Proj
ect Prioritization Form

................................
................................
...........

94

Appendix F

Quarterly Project Progress Form

................................
................................
..................

96

Appendix G

Data Governance Policy Form

................................
................................
.......................

97

Appendix H

Data Element Metadata Form

................................
................................
.........................

98

Appendix I

Corporate Data Set Metadata Form

................................
................................
...............

99

Appendix J

Data Quality Assessment Worksheet

................................
................................
.........

100

Appendix K

Data Element Analysis Worksheet

................................
................................
..............

101

Appendix L

Risk Management Worksheet

................................
................................
......................

102

Appendix M

Corporate Data Sets


Complete List
................................
................................
..........

103

Appendix N

Vehicle Miles Traveled Data Sources Fact Sheet

................................
......................

109

Appendix O

Project Summary


Vehicle Miles Traveled (VMT) Pilot

................................
............

112

Appendix P

Project Summary


County/Route/Postmile
-

LRS Pilot

................................
............

114

Appendix Q

Project Summary


Annual Average Daily Traffic (AADT) Pilot

...............................

116

Appendix R

Project S
ummary


Create the Technical Advisory Committee (TAC)

....................

118

Appendix S

Project Summary


Data Governance Website Mockups

................................
.........

120

Appendix T

Data Governance Change Management/Communication Plan Content

.................

130

Appendix U

Data Governance Process Maps & Narratives

................................
...........................

135

Appendix V

Data Quality Assessment Process Map & Narrative

................................
.................

158




Transportation System Data Business Plan

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E
xecutive Summary

The Transportation System Data Business Plan

(Data Business Plan)

is necessary for Caltrans
to address transportation system data problems
that impact the ability of Caltrans business users
to efficiently and effectively per
form important
business duties. The Data Business Plan
identifies the key issues facing Caltrans and
develops an approach to resolving these issues,
along with the organization needed to initiate
and manage
the plan.


The Data Business Plan
is based upon
a data
governance approach that achieves

an

orchestration of people

and

processes to enable
an organization to leverage data as an
enterprise asset. Data “governance” aims to
break down organizational barriers and use data
to serve the needs of the
busines
s
. Because
data governance is a strategic initiative involving
multiple functions across the
organization
, a
Data Governance Program

should include
:



A governing body (steering committee
or council)
;



A
n
agreed upon common set of
procedures
; and,



A

plan to
communicate and execute
the
data governance

procedures
.


T
he Data Business Plan

defines

governance
roles and responsibilities,
develop
s

the data
related processes and architecture, and
provides

a timeline and
an
approach f
or
implementing
data governance
.



At the outset of the data governance effort, a
Data Governance Steering Committee
(Steering
Committee)
was established to
oversee the
develop
ment of

the
Data Business Plan.
The
Steering Committee and data governance effort
was led by the Division of
Transportation
System Information (TSI
) and supported through

strong representation from divisions and offices
throughout Caltrans, including
: TSI,
Environmental, Mass Transportation, Design,
Transportation Planning, Maintenance, Right
-
of
-
Way, Aeronautics,

Traffic Operations, Rail, and
Information Technology.


The Steering Committee established the initial
direction for the data governance project and
provided a strong foundation for a successful
corporate

effort to improve transportation system
data. The
direction established for data
governance is reflected in
this Data Business
Plan and the
chapters
summarized
below
:




Chapter 1


Caltrans

Data Governance:
Th
is
chapter

includes the strategic direction of data
governance at Caltrans, roles and
responsibilities of the data governance structure,
policies, available resources, and other items.
This
chapter

documents the establishment of the
Transportation System Data Govern
ance Board
(
Board
)

and
is organized in the following
sections:



Mission, Goals and Success
Measures


This section summarizes
the main themes of the Caltrans Data
Governance Plan and includes the
mission statement, goals, governance
metrics, and success me
trics
.




Roles, Responsibilities, and
Accountabilities



This section
summarizes the roles that will be
involved in data governance, as well as
,

the responsibilities assigned to each
role. Roles include: the

Board
, a
Technical Advisory Committee

(TAC)
,
Dat
a Custodians, Business Owners, and
Communities of Interest
.



Data Governance Charter Overview



This section provides an introduction to
the elements of the Charter
. The
Caltrans
Transportation
System Data
Business Plan

(1)

Caltrans
Data
Governance

(2)

Processes
to Identify
Business
Needs

(3)

Data
Products &
Data
Assessment

(4)

Data
Architecture

(5)

Program
Mgmt. &
Implement.
Plan

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detailed Charter
can
be found in
Appendix
B
.



Impact of Prior Efforts


This section
provides an overview of prior projects
and initiatives that relate to
transportation system data issues
.



Funding and Resources



This section
summarizes the impact of limited
resources on the initial Caltrans data
governance structure
.


Chapt
er
2


Processes to Identify Business
Needs:

This
chapter

provides the core
processes for the successful operation of data
governance at Caltrans and the guidance and
forms to support performing those processes.

This
chapter

is organized in the following
s
ections:



Process

Maps and Narratives
Overview



This section provides a
high
-
level introduction of the
methodology used in documenting the
data governance process

maps and
narratives
.



Data Governance Proces
s
es


This
section provides diagrams and
descriptions of the data governance
processes.



Data Governance Forms


This
section provides templates

and
descriptions

of the forms that will be
used to assist in performing these
processes.


Chapter
3


Data Products

and Data
Assessment
:

This
chapter

is
the first of two
chapters describing ‘what’ is being governed by
data governance. It
presents data products as
data sets and corporate data sets

from a
business perspective
. Data assessment criteria
are outlined and applied to three corporate data
sets
in

order
to identify data issues. The
se

data
issues will serve as the foundation for one or
more project concepts outlined below
:



Caltrans Data Products



This section
provides an overview of Caltrans data
products and their relationship to the
next
chapter

(Data Architecture)
.



Caltrans Corporate Data Sets


This
section defines and presents a list of
twelve
of the
corporate data sets
identified by the Board

(see Appendix
M

for a complete list of corporate data
sets)
.



Data Quality Assessment Process
and Tools



This section presents a
data assessment process and

ass
ociated data assessment criteri
a

for
evaluating data products and corporate
data sets
.



Assessing Caltrans Corporate Data
Sets


The project team conducted
interviews and applied the data quality
assessment criteria to three high priority
corporate data sets that the Caltrans
Data Governance Board selected. This
section provides the findings from those
interviews, illustrates the
types of data
quality issues facing
Caltrans
, and lays
the foundation for future data
improvement projects.


Chapter
4


Data Architecture:


This
chapter presents the initial elements of data
architecture at Caltrans and
is the second of two
chapters

that
outline ‘what’ is being governed
by
data governance at Caltrans
.
The next

chapter

(
Data Governance Program

Management and
Implementation Plan)

will present an action plan
for fully implementing the Data Business Plan,
including the Data Element Catalog and

Data
Set Catalog presented in this
chapter
. This
chapter

is organized in the following sections:



Data Architecture



This section
defines data architecture, discusses the
attributes and benefits of metadata, the
characteristics of quality metadata,
Caltra
ns’ data archi
tecture, and the
relationship between

the Data Element
Catalog and Data Set Catalog to the
overall Caltrans data architecture.



Data Element Catalog


This section
presents the metadata associated with
data elements and a Data Element
Catalog.



Data Set Catalog


This section
presents the metadata associated with
data sets and a Data Set Catalog.





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Chapter
5


Data Governance Program

Management and

Implementation Plan:

This
chapter

describes the path forward from a
program management perspective and includes
near
-
term

and

ongoing

long
-
term actions and
projects. The actions or projects will include
“standing up” the data governance structure,
initiating ongoing data governance activi
ties,
finalizing detailed standards, populating the Data
Element Catalog and Data Set Catalog, and
initiating projects to address data issues
previously
outlined.
This chapter includes the
following sections
:



Data Governance, A Program
Management Perspect
ive



This

section describes how Caltrans’ data
governance requires a program
management approach to ensure
ongoing data governance and
how
data
related projects support
Data
Governance Program

objectives. This
section also includes near
-
term actions
and p
rojects that are required to ‘stand
up’ and support the Board and
TAC
.



Data Go
v
ernance Change

Management
Plan


This section

provides a series of recommended
activities to assist in the adoption of the
Data Governance Program
, including
activities to:

o

Prom
ote Caltrans’ awareness of the
Data Governance Program

o

Promote Caltrans’ desire to support
and

participate in the
Data
Governance Program

o

Introduce the tools and processes
that support the
Data Governance
Program

o

P
rovide access to the results and
decisions

for the
data governance
activities

o

Reinforce the value of the
Data
Governance Program



Data Governance Website Concept

Overview



This section presents
f a

concept for a website that will function
as a critical tool to
:


o

S
upport ongoing communications
about data governance progress

o

S
erve as Caltrans’ central portal for
all data governance products



Risk Management Strategies and
Controls



This section summarizes the
likely risks and mitigation strategies, as
well as recommendations for a Risk
Management

Methodology, which
includes processes and tools.



Data Governance Program

of
Projects


This

section is devoted to
four
projects
that initiate data
governance oversight and
c
ommunications
.



Near
-
term Data Governance Projects



This

section identifies a ser
ies of pilot
projects to be undertaken by the project
team to address known data issues and
achieve the goals and objectives of the
Data Business Plan in the near
-
term.



Implementation Schedule


This
section provides a three year schedule
for implementing the
Data Governance
Program
,

including

a Gantt chart
displaying the timeline for program
management activities and projects
,

and
data governance pilot projects. This
section also
contains

a PERT
chart that
graphically illustrates the dependencies
between activities and projects.



Project Summary Form



This section
includes a
n overview of the

Project
Summary Form

to be used for the pilot
projects outlined in the

Near
-
term Data
Governance Projects


section and for
future projects. The
Project Summary
Form

is included in Appendix D.



Appendices


Glossary, Charter, Forms

and

Worksheets,
and Project Summaries
:
The Data Business Plan concludes with
appendices designed to support the Board
and data go
vernance at Caltrans. The
Charter outlines the Board’s roles and
responsibilities and
the F
orms
will be

used
by the Board and TAC to manage data
governance projects and
to
establish data
governance standards. Worksheets
will
generally
be
used by the TAC an
d data
governance project teams

for analysis
activities. Several appendices support near
term data governance projects and reflect
preliminary analysis of three corporate data
sets. The Data Business Plan
, including the
documents in the Appendix, support
p
ractical, near term action.


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Chapter

1

Caltrans

Data Governance

1
.1

Mission, Goals and Success Measures

Establishing a strategic direction is essential to the functioning of any organization to define
its

overall
purpose and goals. For data governance at Caltrans, a mission statement and high
-
level goals provide
the strategic direction for the data governance effort.


1.1.1

Caltrans Data Governance Mission

The Caltrans data governance structure was crea
ted with the following mission:


The Caltrans Transportation System Data Governance Board

(
Board
)

ensures that Caltrans creates and
maintains reliable transportation system data that is accessible to Caltrans and its partners
.


This mission statement refle
cts the intent to focus on the business needs of Caltrans first and foremost.
The statement emphasizes the following:



The

Board

will have the authority to implement change and require accountability of others



Data
g
overnance and the Data Business Plan are

focused on transportation system data and the
needs of
Communities of Interest

who rely on these data assets



There will be accountability for
Business Owners

to develop and maintain data that can be relied
upon for decision
-
making



Reliable data will be ac
cessible

to both Caltrans and external users


This mission statement provides the

Board

and the overall data governance effort at Caltrans with a clear
purpose and a reliable reference point to base future decisions.


1
.
1.
2

Caltrans Data Governance Goals

and Objectives

High
-
level strategic goals are developed to address the issues confronting an organization. Caltrans’
data governance goals are designed to address data issues and challenges existing in the organization,
which hinder good business decisio
n
-
making. These issues are at the heart of the improvements in data
management that Caltrans desires.


Table
1
: Key Data Issues

#

Data Issue

1.


Difficulty finding consistent data for business needs and partner/customer inquiries

2.


Real and perceived
data quality issues

3.


Difficulty integrating data across divisions, offices, and districts

4.


Challenges in identifying data that is valuable and needed to drive decisions

5.


Lack of a standardized approach to address new data needs

6.


Difficulty finding staf
f who are knowledgeable and responsible for
the
data

7.


Difficulty accessing needed data


With key data issues in mind, the Steering Committee

(a precursor to the Board)

established five strategic
goals for the data governance effort. These goals guide the

Board
’s data governance activities, the
implementation of data governance
,

and the selection of data improvement projects. The five strategic
d
ata
g
overnance
g
oals ar
e shown in the table below

with their related objectives.



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Table
2
: Goals and Objectives

#

Goal Title

Goal Description

Objectives

1.


Leadership

Champion data solutions

to

ensure accountability
and increase the value
of data assets



Promote data governance
within Caltrans



Communicate data
-
related changes to all
Communities of Interest



Monitor progress and ensure accountability of data
governance tasks and projects

2.


Quality

Oversee efforts to
provide high quality data
that is accurate, clear,
and easy to acc
ess



Establish a
D
ata Quality Assurance
P
rogram



Increase the accuracy and clarity of data



Improve accessibility of data

3.


Prioritization

Prioritize efforts to
address data gaps and
needs



Establish clear priorities to address data gaps and
needs



Communicate
priorities to Caltrans business units

4.


Cooperation

Facilitate cross
-
organizational
collaboration, data
sharing, and integration
(break
-
down barriers
between business units,
reduce data

silos)



Increase opportunities for data sharing



Eliminate data silos and other barriers



Ensure business units know the identity of
Business
O
wners

and Data C
ustodians



Ensure
Business O
wners

know the identity of the

Communities of Interest

5.


Flexibility

Encourage creative and
innovative solutions to
data needs



Identify innovative data solutions throughout Caltrans



Communicate innovative solutions to
Business
O
wners

and
Communities of Interest


1
.
1.
3

Caltrans
Success Measures

The

Board

will be responsible for prioritizing the various objectives and de
veloping projects and
processes to achieve them. These projects and processes may be assigned to a team made up of
various
S
ubject

M
atter
E
xperts

(SMEs)

or to individuals with the capability to complete the project or
process. Projects will have timeline
s and expectations for decisions, recommendations, and/or
deliverables designed to facilitate project completion and further the achievement of the objective.
Processes will support the implementation of data governance as well as guide long
-
term consiste
ncy in
how data is created and maintained within Caltrans.


To determine whether or not progress is being made toward achieving the objectives, the

Board

will
establish performance measures related to each objective. These performance measures will ensure the
accountability of a team or individual to produce the results assigned by the

Board
. The following table
contains a list of objectives and sample p
erformance measures:


Table
3
: Sample List of Objectives and Performance Measures

#

Objective

Performance Measure

1.


Ensure business units know the identity of
Business Owners and Data Custodians

Increase # and/or % of data elements with identified
owners
/c
ustodians

that are available to business units

2.


Increase the accuracy and clarity of
the
data

Reduction in # and/or % of inaccurate data elements
and data elements without clear definitions

3.


Communicate data
-
related changes to all
Communities of Interest

Development and implementation of a data
communication plan approved by the

Board

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#

Objective

Performance Measure

4.


Eliminate data silos and other barriers

# of data silos identified, and # of solutions
implemented to address data silos


The list above contains samples only for the pu
rpose of demonstrating potential performance measures.

The Board will develop performance measures to reflect its decisions regarding the prioritization of data
governance projects and tasks.


The mission and goals of data governance at Caltrans discussed

above are relevant to a variety of
organization types; from small to large, from simple to complex, staffed by a permanent staff or staff
loaned from other parts of Caltrans. The amount of resources devoted to data governance is a primary
determinant of
the types of roles and responsibilities that are established for data governance. The
Caltrans data governance structure discussed in the next section

(1.2

-

Roles, Responsibilities, and
Accountabilities)

is a reflection of resource limitations and other
factors influencing the organization.

1
.2

Roles

and
Responsibilities

There are a variety of roles and responsibilities that may be used in developing a data governance
structure.
Based upon the specific structure selected, d
ifferent organizations

choose

roles and
responsibilities that best meet the
ir

needs
for

the chosen structure. In general, data governance requires
the following:



A governing body with the authority to set policy and make decisions regarding the management
of data



Technical staff dedi
cated to the data governance effort (if resources are available for dedicated
staff)



SMEs

who represent the data interests and needs of business units
with
in the organization



Management of the business units that own specific data sets



Communities of Inter
est

who use data or have an interest in the data assets of others


1
.2.1

Common Data Governance Roles and Responsibilities

There are common data governance roles that have been developed and used for data governance by
those who have implemented a
Data Gov
ernance Program

in their organization. The table below
presents some typical roles and the definition of the responsibility of each role:


Table
4
: Typical Data Governance Roles and Responsibilities

#

Role

Responsibilities

1.


Data Governance
Board

(Board)

A decision
-
making body with primary responsibility for developing and
implementing policy related to data assets.

2.


Technical
Advisory
Committee

(TAC)

An advisory body of technical data experts who review detailed information
and provide advice and recomme
ndations to the decision
-
making body.

3.


Data Steward

The owner of the Data Business Plan and the person responsible for
initiating changes to established data stewardship and management
processes.

4.


Data Custodian

The
SME

and point of contact for their ass
igned data products.
Represents the Business Owner and maintains communication with the
Community of Interest.

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#

Role

Responsibilities

5.


Business Owner

The manager responsible for ensuring that the data product is being well
managed and is providing value commensurate with the
level of required
investment for ongoing upkeep.

6.


Business Data
Architect

The person responsible for ensuring data consistency, integration, and
efficient access to support business functions. The Business Data
Architect creates and maintains formal desc
riptions of data entities and
their relationship to business processes.

7.


Data Coordinator

The person responsible for the
m
aster
c
atalog
s

of data products, and
makes sure all of the elements are complete and up to date. Monitors
development of new data pr
oducts and ensures data services are being
carried out.

8.


Communit
ies

of
Interest

An individual or group
(internal or external to the organization)
that could
be affected by the data that is in
-
scope for the
Data Governance Program
.
They include groups who
have an interest in transportation system data in
general
,

create data, those who use data, and those who set rules and
requirements for data.

This
group
can be a data user, owner, recipient or
other person/gro
up that has an inte
rest in data
.


Not all of the roles listed above appear in every organization. Many of these roles are present only in
mature, well
-
resourced
Data Governance Program
s. Often, data governance is established with a
minimum structure and grows only as nece
ssary to accommodate increased responsibilities with
increased support.

The specific preliminary Caltrans data governance roles and responsibilities
are
described in
Section 1.2.3


Caltrans Initial Data Governance
Structure

and

can be seen in
Figure 1:
Ca
ltrans Initial Data Governance Structure
, with a description of each role afterwards.

The following
section describes the factors that were considered in developing the initial Caltrans data governance
structure.


1
.2.2

Caltrans Data Governance Organizati
on


Factors Considered

The type of data governance structure that an organization develops is influenced by various factors.
These include:



Authority



The authority level of a governance body will help determine if it will be a decision
-
making body or i
f it will be advisory in nature.



Resource Availability



An organization is limited to the amount of resources (staff and funds)
that are allocated to the organization.



Mission and Goals



The strategic direction of a governance body will help guide the
de
velopment of that governance body.



Size of organization and representation



The size of the data governance organization is a
careful balance of necessary
Data Custodians,
Business Owners
,

and

Communities of Interest
,
while ensuring that the organization
is appropriately sized for flexibility and decision
-
making.



Scope


The scope of the data governance tasks and projects selected will indicate the type and
size of organization that will be needed.



Initial data governance structure



The roles selected are

determined by the factors listed
above and determine the final content of the data governance structure.


A
Steering Committee was formed to
direct the development of the plan and
establish

the foundation of
the data governance effort.
After

considering
the existing data issues, mission, goals and objectives of
data governance at Caltrans, and the factors above,
the Steering committee
made the following decisions
regarding the data governance organization:

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Authority:

The Steering Committee considered the

issues, goals and objectives of data governance, and
recommended creation of a governance board that:



Has the authority to make needed decisions on pressing data issues and rally resources



Is not an organizational body such as a
D
ivision,
O
ffice
,

or
B
ranc
h



Will consist of members who have authority to rally resources and direct staff to participate in
collaborative efforts across
D
ivisions,
D
istricts, and
O
ffices (ideally Division Chiefs and

appropriate district
representatives
)


Resource Availability
:
The Steering Committee recommended that resources (staff and funds) be
determined when pilot projects are selected, and that Divisions and Districts will collaborate to address
resource requirements as needed. No permanent budget or staffing allocation wa
s recommended at this
time.


Mission and Goals
: The Steering Committee developed the mission and goals for data governance
when considering the organization (mission and goals are described in the previous section
,

1.1
-

Mission, Goals, and Success Measur
es
).


Size and Representation:
The Steering Committee recognized that many Divisions and all Districts are
both creators and customers of transportation system data and represent key

Communities of Interest

in
this data governance process. They also rec
ognized that a smaller governing body is most practical for
decision
-
making. The Steering Committee recommended that:



Districts be represented on the

Board




Not all Districts would be represented at all times, utilizing a potential rotating membership
for
broader representation



Key Divisions will be represented on the

Board

with possible rotating membership



The

Board

will be kept to a practical size


The Steering Committee elected to act as the Interim

Board

for
until

membership is finalized and
proces
ses are initiated.


Scope:

The Steering Committee recommended a “go slow” approach to the initial scope of the data
governance effort and project selection. This reflects
a

concern and two recommendations
:



Resources would be limited, particularly in the
short
-
term



Data governance at Caltrans should evolve over time and begin operations with a limited agenda
that is attainable and provides early successes upon which to build



A limited number of

pilot projects
should be selected
to initiate the data governa
nce process


The result is the desire for a Caltrans data governance structure with decision
-
making authority able to
solve problems
; but,

with limited scope, and thus limited size and participation
(
at least initially
)
. These
decisions regarding level of

authority and scope, along with limited resources, and the Mission and Goals,
provide an overall context for the development of a data governance structure that best meets the needs
of Caltrans.


1
.2
.3

Caltrans Initial Data Governance Structure

Based on t
he above considerations and a discussion of the potential roles and responsibilities of typical
data governance efforts, the Steering Committee recommended
an

initial data governance structure

shown below
. Although the future may require expanding data go
vernance capabilities, given the limits
and influences described above, the figure below represents the initial data governance structure at
Caltrans for the first year of activity

(descriptions of this structure immediately follow)
.


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Figure
1
: Caltrans In
itial Data Governance Structure




This structure satisfies the initial requirements of the Caltrans data governance structure in the following
ways:



The Transportation System Data Governance Board (Board)

is

made up of Caltrans
D
ivision
-
level
and
D
istrict
-
level

leadership and
ha
s

the authority to decide and implement most of the decisions
necessary for effective data governance.

(Note:
S
ome decisions may have to be referred to the
Directorate



S
ee Appendix A

for a definition of “Directorate”
)



The
Technical Advisory Committee (TAC)

consist
s

of existing Caltrans staff with particular subject
matter expertise in existing data and/or data requirements at Caltrans. Some members of this
committee may also serve as Data Custodians (see below). This grou
p assist
s

the

Board

by
reviewing technical subject matter and providing information and recommendations to the

Board

to facilitate their decision
-
making and monitoring roles. The
TAC

will convene intermittently so as
not to overly burden the workload of t
he committee members.



Data Custodians

are existing Caltrans staff and are the recognized data experts for their
functional areas (i.e.
D
ivision,
B
ranch,
O
ffice, etc.). They serve on an as
-
needed basis on data
governance project teams so as not to
overly
b
urden their ongoing workload.



Business Owners

are the managers of the business units that own data. They appoint Data
Custodians
,

as needed
,

to address projects identified by the

Board
.



Communities of Interest

are groups of internal and external stake
holders of data that have an
interest in data governance actions that impact data in which they have an interest.


There are many different Business Owners, Data Custodians, and related Communities of Interest at
Caltrans, although presently they are not

always explicitly identified.
These groups

may be identified on a
project
-
by
-
project basis
(
as project teams are formed or individuals are selected to address specific
issues
)
.

Transportation System Data
Governance Board
(
Board
)
Technical Advisory
Committee
(
TAC
)
Data Custodians
Communities of
Interest
Business Owners
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Upward Accountability
:

The

Board

is responsible for raising highly sensitive
issues with a department
-
wide impact, and issues that impact other agencies, to the Directorate for their final decisions on the

Board
’s recommendations. In addition, those issues that are of concern to the SHOPP Executive
Committee and/or the Financial P
olicy Board

(see Appendix A for definitions)

will be presented to these
bodies for their review and input. Also, the

Board

will raise issues that impact
Caltrans’

information
technology

to the IT Governance Board.


In summary, Caltrans has made implementing
corporate

data governance a high priority. To begin
operations as soon as possible, an interim

Board

was established from members of the Steering
Committee

to begin initial

operations

and decision
-
making
.


The

Board
’s operations
are

defined by a charter, which establish
es

the membership, rules of operation,
decision authority, and other concerns. The next section

(1.3
-

Data Governance Charter Overview
)

provides an overview of
the

charter for the

Board
.

1
.3

Dat
a Governance Charter

Overview


A
Data Governance C
harter has been
established

to help govern and guide
the
operations and decisions

of the Board
. Th
e

C
harter reaffirms the strategic direction of the

Board

and Caltrans’
Data Governance
Program

and provides the framework for the operations of the

Board
. The contents of the

Charter
include:



The
Board
’s

Purpose, Mission, and Goals



Performance Objectives



Relationship to Caltrans Management



Membership



Meeting Protocols



Processes



Definitions


The la
test version of the Charter is included as
Appendix
B
.

1
.4

Impact of Prior Efforts

Although prior initiatives at Caltrans have not created a formal data governance structure, there have
been related efforts that have created information and tools that are

beneficial to the

Board
. Even though
these previous projects have been limited in scope, they have provided valuable information and tools
that the

Board

will be able to build upon while
improving

data governance at Caltrans. Some of these
prior efforts

include:



GIS Corporate Structure Value Analysis Study (ongoing)



Geospatial Data Management Committee (GDMC
-

ongoing)



GIS Management Committee (disbanded 2005)



Enterprise Architecture Council (
EAC
-

ongoing)



Data Inventory and Cataloging Project
(completed 2010)


These different efforts have provided valuable information related to existing data issues and problems,
the identity of
B
usiness
O
wners

and Communities of Interest, where data exists, potential
D
ata
C
ustodians, how to operate a governanc
e program, and existing ideas and innovations for addressing
transportation system data issues.

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1
.5

Funding and Resources

The availability of resources is a primary constraint on the operation of any organization. The

Board

is no
different. As described
previously
, the extent of the initial data governance structure and the scope of the

Board
’s first projects and tasks will be limited by the resources (staff and funds) that Caltrans can
dedicate to data governance.


As good

stewards of California’s resources, Caltrans stretches existing resources as far as possible.
Caltrans does not intend to dedicate new resources or redirect significant existing resources to the data
governance structure at this time. Business units tha
t see the benefit of data governance will be asked to
contribute staff and funds, as needed, to the data governance effort to keep it operational, at least in the
initial stages of data governance.


These resource limits are one of the primary contributing

factors to the decision to limit the size of the
data governance structure at Caltrans and to limit the scope of projects and tasks that the

Board

will
initiate in the early stages of data governance. In future years, as the value of data governance beco
mes
more widely recognized, dedicated funding may be made available by the Caltrans Directorate and/or
participating divisions and districts. The opportunity to establish full
-
time data governance staff to
manage a program with a broader scope may become
feasible with sufficient resources. But ultimately,
data governance will have to compete with other worthy efforts throughout Caltrans in a constrained
resource environment that will likely exist for the foreseeable future. In such a circumstance, the ab
ility of
the

Board

to effectively prioritize the projects it undertakes will be of great importance to make sure
Caltrans gets the most data governance
benefit

for its limited data governance
resources
.




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Chapter

2

Process
es

to Identify Business Needs

Da
ta governance must succeed at identifying and resolving transportation system data issues, resulting in
the improvement of Caltrans


business operations. The success of data governance is dependent
,

in
part
,

on the implementation of standard processes t
o guide aspects of data governance in a clear and
consistent manner. As such, data governance processes must be formalized, clearly described and
provided in an easy
-
to
-
understand format so that all who participate in data governance understand what
the p
rocesses are, how they are conducted, and what the desired result will be. By formalizing
processes, the Board and all participants in data governance can focus on
resolving

issues

versus
determining how the governance process works.


The
Caltrans
co
re processes developed to support data governance are:



Submitting data governance issues for consideration



Filtering issues prior to Board consideration



Prioritizing data governance issues for action



Monitoring progress on existing tasks and projects



Esta
blishing and implementing new data governance policies


Figure
2
: Overview of Data Governance Processes



T
hese five processes represent the most important data governance activities to be undertaken during
the implementation of data governance at Caltrans.
The next section (
2
.1


Process Maps and Narratives
Overview
) describes the process that was used in docu
menting the five data governance processes.
Section 2.2

(
Data Governance Processes
)
includes
a representation of each of the five core data
governance processes
which are

portrayed

graphically in a

more detailed


process map


(flow chart).

See
Appendix
U

f
or

larger “process maps” and

detailed “process narratives”
for
each of the
se

five core data
governance processes.

2
.1

Process Maps and Narratives Overview

Process Maps

(
or
flow charts)
provide a graphic
al

representation of
a

process and are organized so as

to present each

role
/actor

in the process in its own “swim lane
.

Each swim lane contains

the

process
step
s

(activit
ies
)
belonging to the role/actor
(the process steps are
numbered consecutively
)
. The
numbering of the process steps corresponds to the num
bering of the activities within each process
narrative.


Process
N
arratives

include an introductory section providing a brief description of the process, any

assumptions relevant to the process, the “trigger” event that initiates the process, and the “comp
letion
indicator” signaling that the process has concluded.


Each process narrative also includes a more detailed description of each process step (activity) in the
process, including the role that performs the activity, what inputs (if any) contribute to
the activity, and
what outputs (if any) the activity produces. These activity descriptions also contain decision points and
points at which two different processes may be connected by activities within individual processes.


Forms
-

Four forms have been d
eveloped to support these processes. They are displayed in the
appropriate processes to indicate when the particular form is to be used and who is responsible for
Process 1:
Submit Data
Governance
Issues
Process 2:
Filter Issues
Prior to Board
Consideration
Process 3:
Prioritize Data
Governance
Issues
Process 4:
Monitor
Progress on
Tasks/Projects
Process 5:
Establish and
Implement
Policies
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completing and/or reviewing the form.

The forms are explained in the section

after the next

(
2
.
3



Data
Governance Forms
).


The
process maps

consist of symbols that depict process steps/activities, decision points,
documents/forms, adjoining processes, and end points. Process maps are able to show sequential and
parallel activities, key players i
n the process, and the relationships between them. For each of the
flow
chart
s below please refer to the following key for an explanation of the symbols in the maps.


Figure

3
:

Process Map Key


Process Map Key
Process Step or
Activity
Document or Form
Decision Point
End Point or
Terminator
Reference to
Different
Process
A
Reference to
next or prior
page in same
process map

2
.2

Data Governance Processes

Process 1: Submitting Data Governance Issues for Consideration

Data issues are identified by a Data Custodian, Business Owner, or Community of Interest and gathered
by the TAC to determine the proper course of action to resolve the data issue. Data issues

may be
identified throughout the year and submitted at any time to the TAC.


The following data governance roles contribute to this process:



TAC



Data Custodians



Business Owners



Communities of Interest


Process 1
Activity Steps

The following steps are
reflected in the process map

below
:

1.

Identify Data Issue

2.

Complete
Data Issue

Form and Forward to TAC

3.

Collect Data Issues for Review at Next TAC Meeting

(Go to Process 2, “Filtering Issues Prior to Board Consideration”)


Why this process is important:
The
TAC can work with directly with Caltrans staff to ensure that all
relevant information is collected regarding identified data issues, and hold the ‘repository’ of issues until
the Board is ready to consider them.




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Figure
4
:
Process 1
-

Submitting Data Go
vernance Issues for Consideration



Process 2: Filtering Issues Prior to Board Consideration

For all data issues identified in Process 1, the TAC will determine whether or not the issue should be
referred to the Board, if it should or could be resolved by

the TAC, or if the issue is out of scope of the
data governance process. The TAC will have the delegated authority to resolve lower level data issues
without bringing them forward to the Board for consideration.


The following data governance roles cont
ribute to this process:



TAC



Data Custodians



Business Owners


Process 2
Activity Steps

The following steps are reflected in the process map

below
:

(From Process 1, “Submitting Data Governance Issues for Consideration”)

1.

Review the Data Issue at Next TAC
Meeting

2.

Decision: Refer Issue to Board?

3.

Forward Data Issue Form to Board

(Go to Process 3, “Prioritizing Data Governance Issues for Action”)

4.

Decision: Take Action on Issue thru TAC?

Community of Interest
(
COI
)
Business Owner
Data Custodian
Technical Advisory Committee
(
TAC
)
1
.
3
Collect Data
Issues for Review
at Next TAC
Meeting
Go to Process
2
,
“Filtering Issues
Prior to Board
Consideration”
1
.
1
Identify Data Issue
Any member of a
data community
(
Data Custodians
,
Business Owners
,
COI
)
may identify
a data issue
Data Issue Form
1
.
2
Complete Data
Issue Form and
Forward to TAC
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5.

Inform Data Custodian of Decision

6.

Receive TAC Decision and Inform Business

Owner

7.

Confer with Data Custodian and TAC if necessary

(End of Process)

8.

Meet with Issue Originator and Discuss Issue

9.

Recommend Solution to Data Issue

10.

Review Recommended Solution and Inform Business Owner

11.

Confer with Data Custodian and TAC, if necessary

(En
d of Process)


Why this process is important:

The TAC can resolve some data issues or determine if a data issue has
already been resolved (
e.g.

by a policy). Some issues may never need to be raised to the Board to
receive data governance guidance.


Figur
e
5
:
Process 2
-

Filtering Issues Prior to Board Consideration

Business Owner
Data Custodian
Technical Advisory Committee
(
TAC
)
2
.
1
Review Data Issue
at Next TAC
Meeting
2
.
2
Refer Issue to
Board
?
No
Go to Process
3
,
“Prioritizing Data
Governance
Issues for Action”
2
.
5
Inform Data
Custodian of
Decision
2
.
6
Receive TAC
Decision and
Inform Business
Owner
End
From
Process
1
,
“Submitting Data
Governance
Issues for
Consideration”
2
.
4
Take Action
on Issue Thru
TAC
?
2
.
3
Forward Data
Issue Form to
Board
2
.
7
Confer with Data
Custodian and
TAC if Necessary
Yes
No
2
.
8
Meet with Issue
Originator and
Discuss Issue
2
.
9
Recommend
Solution to Data
Issue
2
.
10
Review
Recommended
Solution with
Business Owner
End
2
.
11
Confer with Data
Custodian and
TAC if Necessary
Yes


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Process 3: Prioritizing Data Governance Issues for Action

In preparation for a Board meeting, the TAC will conduct a preliminary prioritization of data issues to b
e
presented to the Board. Prioritization can occur at each Board meeting, on an ‘as needed’ basis, or even
one time per year, leaving the remaining quarterly Board meetings to focus on approved efforts rather
than identifying new projects.


The Board will determine the final issue prioritization as well as determine which issues will become data
governance projects, and direct the TAC to begin establishing
p
roject
t
eams. The proposed
p
roject
t
eams will be reviewed by the Board Chairperson
(
a
nd any impacted Business Owners
)

before the
p
roject
t
eam membership will be confirmed and the
y

may

kickoff the project.


The following data governance roles contribute to this process:



Board



Board Chairperson



TAC



Business Owners


Process 3
Activity Steps

The following steps are reflected in the process map

below
:

(From Process 2, “Filtering Issues Prior to Board Consideration”)

1.

Conduct Preliminary Prioritization

2.

Submit Preliminary Prioritization to Board for Next Board meeting

3.

Review Issue Priority List at

Next Board Meeting

4.

Determine Issue Prioritization

5.

Determine Data Issues to Become Data Governance Projects

6.

Assign Data Governance Projects to TAC for Development

7.

Develop Preliminary Recommendations for project team

8.

Contact
P
roject
T
eam Member Managers for

Approval

9.

Decision: Approve Staff for
P
roject
T
eam?

10.

Provide Approved
P
roject
T
eam Member List to TAC

11.

Contact
P
roject
T
eam Members to Arrange Kickoff Meeting

Go to P
rocess 4, “Monitoring Progress
on Existing Tasks and Projects”


Why this process is importan
t:

In the initial years of the
Data Governance Program
, the Board must be
selective on the number of issues and projects it undertakes. As the program matures, more efforts may
be addressed.




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Figure
6
:
Process 3
-

Prioritizing Data Governance Issues for Action



Process 4: Monitoring Progress on Existing Tasks and Projects

The Board may recommend that a
p
roject
t
eam be formed to resolve a difficult data issue. While actively
pursuing a recommendation or solution
for a data issue, the
p
roject
t
eam must periodically report
progress to the data governance organization. The
project team

will complete their analysis and provide
it to the Data Custodian, Business Owners, and Communities of Interest for review and feedb
ack. The
project team

will update their recommendation and submit it to the TAC. If accepted by the TAC, the
recommendation will be forwarded to the Board for consideration.


The results of the project may be to:



Establish a new policy, procedure or gu
ideline (see Process 5).



Establish a new data standard or perform a data quality assessment (these will be described in
detail in
C
hapter

3
).


The following data governance roles contribute to this process:



Board



TAC



Project
T
eam



Data Custodians



Business O
wners



Communities of Interest





Data Governance Board
(
Board
)
Board Chairperson
Technical Advisory Committee
(
TAC
)
Business Owner
(
Manager of Project Team Member
)
3
.
1
Conduct
Preliminary
Prioritization
Proposed Project
Prioritization Form
3
.
4
Determine Issue
Prioritization
3
.
3
Review Issue
Priority List at Next
Board Meeting
3
.
2
Submit Preliminary
Prioritization to
Board for Next
Board Meeting
3
.
5
Determine Data
Issues to Become
Data Governance
Projects
From
Process
2
,
“Filtering Issues
Prior to Board
Consideration”
3
.
6
Assign Data
Governance
Projects to TAC for
Development
3
.
7
Develop
Preliminary
Recommendations
for Project Team
Go to
Process
4
,
“Monitoring
Progress on
Existing Tasks
and Projects”
3
.
8
Contact Project
Team Member
Managers for
Approval
3
.
10
Provide Approved
Project Team
Member List to
TAC
3
.
11
Contact Project
Team Members to
Arrange Kickoff
Meeting
3
.
9
Approve Staff
for Project
Team
?
No
Yes
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Process 4
Activity Steps

The following steps are reflected in the
process map

below
:

(From Process 3, “Prioritizing Data Governance Issues for Action”)

1.

Conduct Team Kickoff Meeting

2.

Research and Analyze Data Issue

3.

Report
Project Progress to TAC and Board

4.

Review
Project Progress
and Forward to Board

5.

Review Project Progress and Provide Direction, as needed

6.

Complete Project and Develop Recommendation

7.

Provide Project Recommendation to Data Custodian

8.

Review Project Recommendati
on and Send to Business Owner and
Communities

of Interest

9.

Provide Feedback and Additional Requirements

10.

Report Feedback to
P
roject
T
eam

11.

Update Recommendation and Present to TAC

12.

Review Team Recommendation at Next TAC Meeting

13.

Decision: Accept Recommendation?

14.

Provide
P
roject
T
eam Recommendation to Board

15.

Review Team Recommendation at Next Board Meeting

16.

Decision: Accept recommendation?

17.

Revise Recommendation and Submit to TAC


Why this process is important:

Some of the Board’s data governance decisions will resul
t in long
-
term
efforts. The Board will need to monitor ongoing progress to ensure results are aligned with the data
governance goals and that expected outcomes are achieved.




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Figure
7
: Process 4
-

Monitoring Progress on Existing Tasks and Projects



Process 5: Establishing and Implementing New Data Governance Policies

Following the establishment of a new data governance policy, procedure or guideline, there will be
implementation and monitoring of the policy, procedure, or guideline, including the dev
elopment of
detail
ed
instructions and assistance with implementation. Low level compliance issues will be resolved
by Data Custodians and the TAC. High level compliance issues will be resolved by the Board.


The following data governance roles
contribute to this process:



Board



TAC



Data Custodians



Business Owners



Communities of Interest


Process 5
Activity Steps

The following steps are reflected in the process map

below
:

(From Process 4, “Monitoring Progress on Existing Tasks and Projects”)

1.

Estab
lish New Policy
p
er Project Recommendations

2.

Develop Draft Policy Details

3.

Forward Draft Policy to Data Custodians

4.

Communicate Draft Policy to Business Owner and
Communities of Interest

5.

Review Policy and Provide Feedback

Data Governance Board
(
Board
)
Data Custodian
Project Team
Technical Advisory Committee
(
TAC
)
4
.
2
Research and
Analyze Data
Issue
From
Process
3
,
“Prioritizing Data
Governance
Issues for Action”
4
.
1
Conduct Team
Kickoff Meeting
4
.
3
Report Project
Progress to TAC
and Board
4
.
4
Review Project
Progress and
Forward to Board
Quarterly Project
Progress Form
4
.
5
Review Project
Progress and
Provide Direction
,
as needed
4
.
6
Complete Project
and Develop
Recommendation
4
.
7
Provide Project
Recommendation
to Data Custodian
4
.
8
Review Project
Recommendation
&
Send to Bus
.
Owner and COI
Business Owner and Community of Interest
(
COI
)
4
.
11
Update
Recommendation
and present to
TAC
4
.
12
Review Team
Recommendation
at Next TAC
Meeting
4
.
13
Accept
Recommendation
?
No
4
.
14
Provide Project
Team
Recommendation
to Board
4
.
15
Review Team
Recommendation
at Next Board
Meeting
4
.
16
Accept
Recommendation
?
4
.
17
Revise
Recommendation
and Submit to TAC
Go to Process
5
,
“Establishing and
Implementing New
Data Governance
Policies”
4
.
9
Provide Feedback
and Additional
Requirements
4
.
10
Report Feedback
to Project Team
Yes
No
Yes
Project Summary
Form
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6.

Communicate Feedback from Business Ow
ner and

Communities of Interest

7.

Develop Revised Draft Policy Based on Feedback from Data Custodians

8.

Review and Approve Final Policy

9.

Send Final Policy to Data Custodians

10.

Assess Impact and Communicate to Business Owner and

Communities of Interest

11.

Assist
Business Area with Policy Implementation

12.

Inform TAC of any Issues Related to Policy

13.

Resolve Lower

L
evel issues with Business Owners

14.

Forward High Level Issues to Board

15.

Review High Level Implementation Issues

16.

Decision: Issues resolved with Business Owners?

17.

Raise Issue to Directorate

(End of process)


Why this process is important
:

While the data governance organization is not an enforcement group, it
will be important to ensure that data policies and data standards are followed, and to ensure that data
gove
rnance objectives are met.




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Figure
8
: Process 5
-

Establishing and Implementing New Data Governance Policies


2
.
3

Data Governance Forms

The processes described in the section above

(
2
.2


Data Governance Process
es
)

include the use of
various forms to a
ssist in completing the processes. These forms are:



Data Issue Form

(Appendix C)



Project Summary Form

(Appendix D)



Proposed Project Prioritization Form

(Appendix E)



Quarterly Project Progress Form

(Appendix F)



Data Governance Policy Form

(Appendix G)


These
five

forms are described below, and each of the forms is included as Appendices
C

through
G
.


2.3.1

Data Issue

Form

This form is used by those submitting data issues to the TAC. Data issues can come from any part of the
data community (i.e. Data Cus
todians, Business Owners, and Communities of Interest). The Data Issue
Form contains project overview information, a listing of impacted data and systems, a project description,
and a description of the business impact for Caltrans. The Data Issue Form

(
See Appendix C)

is utilized
in the following process
es
:



Process 1


Submitting data governance issues for consideration



Process 6


Data quality assessment

Data Governance Board
(
Board
)
Community of Interest
(
COI
)
Business Owner
Data Custodian
Technical Advisory Committee
(
TAC
)
5
.
1
Establish New
Policy Per Project
Recommendations
5
.
2
Develop Draft
Policy Details
From
Process
4


“Monitoring
Progress on
Existing Tasks
and Projects”
5
.
4
Communicate
Draft Policy to
Business Owner
and COI
5
.
3
Forward Draft
Policy to Data
Custodians
5
.
5
Review Policy and
Provide Feedback
5
.
6
Communicate
Feedback from
Business Owner
and COI
5
.
7
Develop Revised
Draft Policy Based
on Feedback from
Data Custodians
5
.
8
Review and
Approve Final
Policy
5
.
10
Assess Impact and
Communicate to
Business Owner
and COI
5
.
9
Send Final Policy
to Data
Custodians
Final Data
Governance Policy
Form
Draft Data
Governance Policy
Form
5
.
11
Assist Business
Area with Policy
Implementation
5
.
13
Resolve Lower
Level Issues with
Business Owners
5
.
12
Inform TAC of any
Issues Related to
Policy
5
.
14
Forward High
Level Issues to
Board
5
.
16
Issues
Resolved with
Business
Owner
?
Yes
No
5
.
17
Raise Issue to
Directorate
5
.
15
Review High Level
Implementation
Issues
End
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2.3.2

Project Summary

Form

This form is used by
Project Teams to provide a description of a data gov
ernance project that has been
initiated by the Board
. The Project
Summary

Form contains
a
project
description
,
risks, benefits,
relationship to other projects, roles, schedule, and estimated cost
. The Project
Summary

Form

(See
Appendix D)

is utilized in
the following process:



Process 4



Monitoring progress on existing tasks and projects


2
.
3
.
3

Proposed Project Prioritization Form

This form is used by the TAC when developing their preliminary recommendations regarding issue/project
prioritization to the
Board for review and modification. The Proposed Project Prioritization Form includes
a first sheet with a complete listing of proposed data issues/projects, including the project title and the
proposing business unit. Additional sheets will contain a sum
mary overview of each issue/project listed
on the first sheet to provide reference information for the Board while discussing the prioritization of
issues/projects. The Proposed Project Prioritization Form

(See Appendix E)

is utilized in the following
pro
cess:



Process 3


Prioritizing data governance issues for action


2
.
3
.
4

Quarterly Project Progress Form

This form is used when a
project team

is reporting project status to the TAC and the Board. This form will
only be used by
project team
s established by

the Board and TAC and will be submitted on a quarterly
basis to be reviewed by the TAC and the Board at the quarterly Board meetings. This form contains
project overview information, progress status, accomplishments, upcoming tasks and milestones, and an
y
risks and mitigation strategies. The
Quarterly Project Progress Form

(See Appendix F)

is utilized in the
following process:



Process 4


Monitoring progress on existing tasks and projects


2
.
3
.
5


Data Governance Policy Form

This form is to be used when d
ocumenting formal data governance policies following the adoption of a
new policy by the Board. This will normally oc
cur following the completion of a data governance project
that contained recommendations for a new policy that was approved by the Board.

This form contains
sections for a description of the new policy, background information (including related or superseded
policies), parties responsible for implementing the policy and their roles and responsibilities, and the
scope of applicability within

Caltrans. The Data Governance Policy Form

(See Appendix G)

is utilized in
the following process:



Process 5


Establishing and implementing new data governance policies


All data governance forms and tools will be available for downloading on the Caltrans

data governance

w
ebsite at
www.dot.ca.gov
/hq/tsip

after the website is developed and available.



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Chapter
3

Data Products

and Data Assessment

3
.1

Data Products

Within the context of Caltrans data governance,
data products are defined from a business perspective;
not from an information technology or technical perspective
. Data products are simply col
lections of data
that Communities of I
nterest require in order to manage the transportation system. Data product
s may
exist as raw data in a database table, data
in an Excel Workbook, data in a

corporate

computer system,
or data contained in a report. The ‘data product’ term connotes a product of value to customers internal or
external to Caltrans.


This
chapter

foc
uses on a particular
type of
data product

called


data sets,


and high priority data sets,
known as

corporate data sets.


The Data Architecture
chapter

will define additional data products,
including a data element catalog, a data set catalog, and metadat
a.


As displayed in
the figure below
, data products are part of a larger universe of data needs, issues,
sources, standards, data sets, and data catalogs.

Data governance requires that Business O
wners
consider data needs and data quality issues in terms of

available data (available from a variety of files,
spreadsheets and systems) and data governance standards. The data governance standards lead to
recognized data sets (a collection of data and accompanying documentation which relate to a specific
theme),
higher priority corporate data sets, catalogs of data elements and data sets, and data files and
reports.


Figure
9
: Data Needs, Sources, Standards, and Products





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In addition to the data products contained in this
chapter
, numerous items
have been developed
to
support data governance. These data standards and data products fall into three broad categories.




Data standards and forms that
support
data governance

(from
Chapter
2



Processes to Identify
Business Needs”):

o

Data Issue Form

(App
endix C)

o

Project Summary Form

(Appendix D)

o

Proposed Project Prioritization Form

(Appendix
E
)

o

Quarterly Project Progress Form

(Appendix
F
)

o

Data Governance Policy Form

(Appendix
G
)




Data standards and forms to
ensure Data Quality and Standardization

(fr
om

Ch
apter
2



Processes to Identify Business Needs”,

Chapter
3
(this chapter)


“Data Products and Data
Assessment,”

and
Chapter
4


“Data Architecture”):

o

Data Quality Assessment Worksheet

(Appendix
J
)


o

Data
Element Analysis Worksheet (Appendix
K
)

o

Data
Element Metadata Form

(Appendix
H
)

o

Corporate Data Set Metadata Form

(Appendix I)




Data standards and products for
Communities of Interest

(from
Chapter
3
(this chapter)


“Data
Products and Data Assessment,”

and
Chapter
4


“Data Architecture”)
:

o

Data Eleme
nt Catalog

o

Data Set Catalog

o

Metadata

(e